SEC Form 4 · accession 0001609351-17-000109
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Faga
Officer — Chief Business Officer
Period of report
Oct 20, 2017
Accepted (ET)
Oct 24, 2017 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609351
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 20, 2017 | M | 6,000 | $37.62 | A | 6,000 | D | |
| Common StockF2 | Oct 20, 2017 | S | 6,000 | $79.95 | D | 0 | D | |
| Common Stock | Oct 24, 2017 | M | 1,500 | $37.62 | A | 1,500 | D | |
| Common Stock | Oct 24, 2017 | S | 1,500 | $85.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $37.62 | Oct 20, 2017 | M | 6,000 | D | — | May 1, 2026 | Common Stock | 6,000 | 131,500 | D |
| Employee Stock Option (right to buy)F3 | $37.62 | Oct 24, 2017 | M | 1,500 | D | — | May 1, 2026 | Common Stock | 1,500 | 130,000 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 28, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.40 to $80.30, inclusive. The reporting person undertakes to provide to Spark Therapeutics, Inc., any security holder of Spark Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F325% vested May 2, 2017 and the remainder vests in equal quarterly installments over the following three years.